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What is Rule 15c2 12?

Specifically, SEC Rule 15c2-12 requires that underwriters of municipal securities, before bidding, purchasing, or selling a municipal security in the primary market, must obtain and review the issuer's preliminary and final official statements and reasonably determine that the issuer has committed to provide continuing ...

What is a Continuing Disclosure agreement?

The Continuing Disclosure Agreement requires that issuer to file annual financial information and notices of certain material events with the Electronic Municipal Market Access, or EMMA, an electronic information repository system maintained by the Municipal Securities Rulemaking Board (MSRB), which is accessible to ...

Why there is a need of continuous disclosure to the regulator and to the Exchange explain?

The primary rationale for continuous disclosure is to enhance confident and informed participation by investors in secondary securities markets. This can be expected to enhance the depth, liquidity and efficiency of these markets.

What is Rule 15c2-12?

Specifically, SEC Rule 15c2-12 requires that underwriters of municipal securities, before bidding, purchasing, or selling a municipal security in the primary market, must obtain and review the issuer's preliminary and final official statements and reasonably determine that the issuer has committed to provide continuing ...

What is SEC Rule 15c3 5?

Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to \u201cappropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading ...

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